DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

B•••• R•••• A•••• M••••••••• L••

Former SEC-registered adviserHopkins, MinnesotaCRD 127590SEC 801-62384IAPD
Latest filing Feb 12, 2016
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$72B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
149
76 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$121M gross assets
History
17 filings and snapshots on the tape
RAUM$72B as of Aug 28, 2015
Aug 30, 2012$54B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 28, 2015
Aug 30, 20120 then
Employees (5.A)149 as of Aug 28, 2015
Aug 29, 2013150 then
Private funds21 as of Aug 28, 2015
Aug 30, 201214 then
RAUM -10.0% over the last fiscal year+10.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 12, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2.7BderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-10.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$68B, 10 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$68B for 10 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••• R•••• E••••••• M•••••• F••• L•••Hedge Fund$1.3B29Mar 30, 2012
      B•••• R•••• E•••••• E••••••••• E••••••••• F••• L•••Hedge Fund$518M10Mar 30, 2012
      B•••• R•••• C•••••••• T•••••• M••••• F••• L••Hedge Fund$359M24Mar 30, 2012
      G••••• A••••••••• A••••••• R••••• F••• L•••Hedge Fund$328M2May 2, 2013
      B•••• R•••• L•••• A••••••• S•••••• S••••••••• O••••••••• F••• L•Hedge Fund$291M16Jul 11, 2013
      B•••• R•••• E••••• O••••••••• F••• L•••Hedge Fund$256M6Mar 30, 2012
      B•••• R•••• C•••••••• E••••• L••••••••• O••••••••• M••••• F••• L•••no longer reportedHedge Fund$248M9Mar 30, 2012
      E•• F••• L•••Hedge Fund$228M2Jan 28, 2015
      P••••••••• S•••••••• C••••• L•Hedge Fund$162M1Aug 29, 2014
      B•••• R•••• A••••••••• F••• 2•• L•Private Equity Fund$134M4Jan 28, 2015
      B•••• R•••• E• C••••• U••••••• F••• L••no longer reportedHedge Fund$121M21Mar 30, 2012
      B•••• R•••• C•••••• P••••••• F••• ••••••••• A• L•no longer reportedPrivate Equity Fund$108M12Mar 30, 2012
      B•••• R•••• T•••••• O••••••••• F••• L•••no longer reportedHedge Fund$80.5M6Mar 30, 2012
      B•••• R•••• E••••••• M•••••• C••••• O••••••••• F••• I• L•Hedge Fund$44.9M9Mar 30, 2012
      B•••• R•••• E••• M••••• F••• L•••no longer reportedHedge Fund$30.2M8Mar 30, 2012
      B•••• R•••• C•••••••• I••••••••• P••••••• F••• L••Private Equity Fund$5.8M108Mar 30, 2012
      B•••• R•••• C•••••• P••••••• F••• •••• L•Private Equity Fund$16,1127Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• D••••• P•••••• · Directorcontrol
        since 03/2009 · owns less than 5%
      • O••••• J••••• D••••• · Interim Presidentcontrol
        since 02/2016 · owns less than 5%
      • P••••••••• R••••• P•••• · Chief Compliance Officercontrol
        since 01/2016 · owns less than 5%
      • R••••••••• D••••• A•••••••• · Directorcontrol
        since 01/2013 · owns less than 5%
      Entity owners
      • B•••• R•••• A•••• M••••••••• L•• · Shareholder Of Relying Advisers - Section 1.B.
        direct · owns 75% or more
      • C•••••• F•••••••• S••••••• C••••••••• · Shareholder
        direct · owns 75% or more
      • C•••••• I••• · Shareholder
        indirect · owns 75% or more of C•••••• F•••••••• S••••••• C•••••••••
      Related persons
      Schedule D 7.A
      • B•••• R•••• C•• •••• G• L••
        pooled vehicle sponsory
      • B•••• R•••• C•• •••• G• L•
        pooled vehicle sponsory
      • B•••• R•••• E••• G• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Weybridge, Surrey, United Kingdom
      What changed
      consecutive filings, newest first
      • Private funds · 8 to 3
        Jan 20, 2016 to Feb 12, 2016
      • Private funds · 18 to 8
        Oct 2, 2015 to Jan 8, 2016
      • Private funds · 21 to 18
        Aug 28, 2015 to Oct 2, 2015
      • Accounts · 24 to 27
        Jan 28, 2015 to Aug 28, 2015
      • Advisory employees · 92 to 76
        Jan 28, 2015 to Aug 28, 2015
      • Assets in custody · $76B to $68B
        Jan 28, 2015 to Aug 28, 2015
      • Employees · 169 to 149
        Jan 28, 2015 to Aug 28, 2015
      • Discretionary RAUM · $79B to $71B
        Jan 28, 2015 to Aug 28, 2015
      • Non-discretionary RAUM · $531M to $561M
        Jan 28, 2015 to Aug 28, 2015
      • RAUM · $80B to $72B
        Jan 28, 2015 to Aug 28, 2015
      • Private funds · 19 to 21
        Aug 29, 2014 to Jan 28, 2015
      • Accounts · 21 to 24
        Oct 28, 2013 to Aug 29, 2014
      • Advisory employees · 85 to 92
        Oct 28, 2013 to Aug 29, 2014
      • Assets in custody · $66B to $76B
        Oct 28, 2013 to Aug 29, 2014
      • Employees · 150 to 169
        Oct 28, 2013 to Aug 29, 2014
      • Financial planning clients · 0 to unset
        Oct 28, 2013 to Aug 29, 2014
      • Discretionary RAUM · $69B to $79B
        Oct 28, 2013 to Aug 29, 2014
      • Non-discretionary RAUM · $385M to $531M
        Oct 28, 2013 to Aug 29, 2014
      • RAUM · $69B to $80B
        Oct 28, 2013 to Aug 29, 2014
      • Private funds · 17 to 19
        Aug 29, 2013 to Oct 28, 2013
      • Accounts · 18 to 21
        Jul 11, 2013 to Aug 29, 2013
      • Assets in custody · $52B to $66B
        Jul 11, 2013 to Aug 29, 2013
      • Discretionary RAUM · $54B to $69B
        Jul 11, 2013 to Aug 29, 2013
      • Non-discretionary RAUM · $0 to $385M
        Jul 11, 2013 to Aug 29, 2013
      • RAUM · $54B to $69B
        Jul 11, 2013 to Aug 29, 2013
      • Private funds · 15 to 17
        May 2, 2013 to Jul 11, 2013
      • Advisory employees · unset to 85.0
        Aug 30, 2012 to May 2, 2013
      • Employees · unset to 150.0
        Aug 30, 2012 to May 2, 2013
      • Private funds · 14 to 15
        Aug 30, 2012 to May 2, 2013
      • Accounts · 27 to 18
        Aug 10, 2012 to Aug 30, 2012
      • Assets in custody · $48B to $52B
        Aug 10, 2012 to Aug 30, 2012
      • Private funds · 16 to 14
        Aug 10, 2012 to Aug 30, 2012
      • Discretionary RAUM · $49B to $54B
        Aug 10, 2012 to Aug 30, 2012
      • RAUM · $49B to $54B
        Aug 10, 2012 to Aug 30, 2012
      • Assets in custody · $4.2B to $48B
        Apr 17, 2012 to Aug 10, 2012
      • HQ city · MINNETONKA to HOPKINS
        Apr 17, 2012 to Aug 10, 2012
      • Discretionary RAUM · $4.9B to $49B
        Apr 17, 2012 to Aug 10, 2012
      • RAUM · $4.9B to $49B
        Apr 17, 2012 to Aug 10, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026